Pursuant to Section 31(j)(2) of the Securities Exchange Act of 1934, the Commission has determined that a mid-year adjustment to the Section 31 fee rate for fiscal year 2021 is not required. These adjustments do not directly affect the amount of funding…
With 30 years of experience as a securities lawyer, Mark knows knows what it takes to effectively, and efficiently, handle litigation matters - when to settle, and when to take the case to a final hearing. Mark has litigated virtually every securities law claim imaginable and can effectively guide you through the process.
Defense of SEC and FINRA investigations, routine exams, 8210 requests, OTRs and Wells Notices are the main stay of Mark's practice. From customer complaints to insider trading investigations, his experience in these proceedings, as well as in the practical aspects of operating a broker-dealer, can provide the experience that you need.
Representation of broker-dealers, investment advisers in all employment related issues, including employment agreements, separation agreements, litigation, promissory notes, and all aspects of the relationship.
HK Property Investor Goodwin Gaw Spies World Of Bargains On The Horizon After a tough year at his property-focused private equity firm, Gaw Capital, Goodwin Gaw is keeping his powder dry for deals in the year ahead. #securitieslaw #seclaw #securitiesattorney https://www.forbes.com/sites/jenniferwells/2021/02/24/hk-property-investor-goodwin-gaw-spies-world-of-bargains-on-the-horizon/